Governments to step up fight against financial crime
Ministers commit to improving the transparency of beneficial ownership information
- By: James Langton
- June 14, 2019 November 13, 2019
- 15:47
Latest news in From the Regulators
Reps have a role in combatting the opioid epidemic, regulators say
Advisors must be "prepared to talk to clients in crisis"
- By: James Langton
- June 14, 2019 November 13, 2019
- 10:58
‘Strike force’ to tackle foreign scams targeting seniors
U.S. authorities take action with the Transnational Elder Fraud Strike Force
- By: James Langton
- June 13, 2019 November 13, 2019
- 17:05
CRA answers questions on graduated rate estates
Reps of the government agency fielded queries about taxation and cross-border issues at STEP roundtable
- By: Rudy Mezzetta
- June 13, 2019 November 13, 2019
- 15:33
Regulators cooperate to combat global cyber threat
Singapore and the U.K. join forces against a risk that knows no geographical boundaries
- By: James Langton
- June 13, 2019 November 13, 2019
- 12:25
Retail reforms remain central to CSA’s plans
The CSA published its plans for the years through 2022
- By: James Langton
- June 13, 2019 November 13, 2019
- 11:58
OSFI seeks to curb growing reinsurance risks
Regulator seeks comments on proposed revisions to reinsurance guidance
- By: James Langton
- June 12, 2019 November 13, 2019
- 14:58
Ontario court dismisses Sino executives’ appeal of OSC discipline
Four executives were ordered to pay more than $80 million in penalties and disgorgement
- By: James Langton
- June 11, 2019 November 13, 2019
- 11:18
B.C. man fined, banned for failed day trading scheme
The respondent had never been registered
- By: James Langton
- June 11, 2019 November 13, 2019
- 09:59
Mortgage stress tests working, OSFI maintains
Regulator reports lenders are approving fewer mortgages for over-leveraged borrowers
- By: James Langton
- June 10, 2019 November 13, 2019
- 14:00
Ontario’s new era for financial regulation dawns
The new independent regulator replaces the FSCO and DICO
- By: James Langton
- June 7, 2019 November 13, 2019
- 17:03
Insurtech creates risks for consumers and regulators alike
Report examines insurers' use of AI and social media to assess risks
- By: James Langton
- June 7, 2019 November 13, 2019
- 15:49
Phony investment scheme leads to ban for former fund rep
"Special investment opportunity" allegedly misappropriated $1.36 million from clients
- By: James Langton
- June 6, 2019 November 13, 2019
- 17:19
Poor data threatens OTC derivatives market oversight
While the majority of data reporting is accurate, regulators also encountered deficiencies
- By: James Langton
- June 6, 2019 November 13, 2019
- 14:30
New IIROC rules bolster trading oversight
They take effect in September
- By: James Langton
- June 6, 2019 November 13, 2019
- 13:48
OSC seeks market structure expertise
Committee applications due July 5
- By: James Langton
- June 6, 2019 November 13, 2019
- 12:19
FSB warns of risks posed by fintech innovation
Innovations such as blockchain technology, crowdfunding and peer-to-peer lending pose novel risks and benefits to the financial system, suggests a new report published Thursday by…
- By: James Langton
- June 6, 2019 November 13, 2019
- 11:44
OSC aims to speed up miners’ offerings
Companies will be able to ask the regulator to review their disclosure before they file a prospectus
- By: James Langton
- June 6, 2019 November 13, 2019
- 10:48
Fund rep fined, banned for phony investment scheme
The fine is $1.6 million
- By: James Langton
- June 5, 2019 November 13, 2019
- 16:47
Global tax regulators target financial institutions
International group of tax authorities says "high end" financial firms are enabling tax evasion and other crimes
- By: James Langton
- June 5, 2019 November 13, 2019
- 16:33
Senate confirms new CFTC chairman
Heath Tarbert, who takes over as top derivatives regulator on July 15, previously held senior position at U.S. Treasury
- By: James Langton
- June 5, 2019 November 13, 2019
- 15:13
SEC adopts “best interest” rules for brokers
The reforms also feature new relationship disclosure requirements for both registered investment advisors and broker-dealers
- By: James Langton
- June 5, 2019 November 13, 2019
- 13:10
Regulators consult on default auctions
Internaitonal bodies aim to reduce systemic risk
- By: James Langton
- June 5, 2019 November 13, 2019
- 12:12
Climate-related financial disclosure needs work, global task force finds
Disclosure is "still insufficient for investors"
- By: James Langton
- June 5, 2019 November 13, 2019
- 11:17
IIROC sets strategy through 2022
Regulator plans to work with provincial regulators and step up efforts to protect vulnerable investors such as seniors
- By: James Langton
- June 4, 2019 November 13, 2019
- 16:57